CD
Christian M. Del Giorgio
OSAIC INSTITUTIONS
Fountain Valley, CA 92708
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CRD#: 4687100
CD
Professional summary
Christian Matthew Del Giorgio is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Fountain Valley, California.
Christian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Christian has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 05-18-2022-SchoolsFirst Investment Services- Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-
CRS (Client Relationship Summary) - RIA
Click below to view Christian Matthew Del Giorgio's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christian Matthew Del Giorgio's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 7, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 18430 Brookhurst St. Suite 201d, Fountain Valley, CA 92708RIA
BD
CRD#: 35371
Fountain Valley, CA
Current
February 7, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 18430 Brookhurst St. Suite 201d, Fountain Valley, CA 92708RIA
BD
CRD#: 35371
Fountain Valley, CA
Past
May 18, 2022 - December 23, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FOUNTAIN VALLEY, CA
Past
May 18, 2022 - December 23, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FOUNTAIN VALLEY, CA
Past
April 26, 2011 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
FOUNTAIN VALLEY, CA
Past
April 26, 2011 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
FOUNTAIN VALLEY, CA
Past
February 13, 2009 - November 10, 2010
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
PLACETIA, CA
Past
February 13, 2009 - March 31, 2011
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 23, 2006 - February 17, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ORANGE, CA
Past
February 8, 2006 - February 17, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ORANGE, CA
Past
April 13, 2005 - February 7, 2006
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
September 23, 2003 - July 15, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/7/2025)
IAR
California(2/7/2025)
RR
Florida(4/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Fountain Valley, CA 92708TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
